5 Regulatory Governance Jobs

The Central Control Capabilities function is responsible for driving Monitoring & Testing (M&T) of key controls across the business. It comprises of four groups: Control Assessment, Call Listening, Central Testing, and Strategy, Governance & Automation (SG&A). Control Assessment and Central Testing functions partner with Control Owners and Inbusiness Control Teams to conduct M&T activities for key controls in scope of the CTU. This includes control design assessment, development of tools for operational effectiveness monitoring and testing, assessment of the design of tools, execution of activities, and disposition of exceptions identified through M&T activities. Central Testing function in Citi Service Centers in India is structured along three verticals: M&T Execution, M&T Automation, and Strategy & Governance. Strategy & Governance function is responsible for defining the operating model for Central Testing in coordination with SG&A Lead, reporting into the Head of SG&A function. The Strategy & Governance C13 is accountable for managing people, budget, planning, and overseeing key activities. **Program Management:** - Develop governance structures for Central Testing function - Support in collating updates for Business Reviews, Risk & Control committees - Track KPIs/KRIs and improve adherence to established metrics - Implement Quality Control metrics for performance monitoring and remediation - Identify opportunities for streamlining and automation of processes **Expense & Headcount Management:** - Ensure robust expense management and coordinate budget process - Work on capacity planning and management for staff - Provide support for third party relationships in Central Testing **Regulatory & Internal Governance:** - Manage issue management discipline, deliverables to Auditors and Regulators - Coordinate engagement with second line, third line, and local regulators **Training & Talent Development:** - Track training completions for staff - Assess opportunity for external certification in talent development program **Qualifications and Competencies:** - 8+ years of experience in strategy, governance, or relevant roles in financial services - Strong knowledge of operational & compliance risk management framework - Analytical skills, communication, ability to challenge conventions, and identify trends - Understanding of Citigroup's businesses, products, and risk profiles - Ability to build partnerships, lead coordination, and assess risks **Education:** - Bachelor's/University degree required; Master's degree preferred Citi is an equal opportunity and affirmative action employer.,

The Operations Risk & Regulatory Control (ORRC) Division is a global team responsible for Operational Risk & Regulatory Governance, reporting, oversight, and support for Operational Risk Management. An opportunity exists within the Operations Risk Governance (ORG) team, a global risk function within ORRC focused on ensuring risk governance and reporting, promoting risk culture, and enhancing operational risk mitigation strategies. As a member of ORG, you will be tasked with ensuring that adequate controls are in place to mitigate Operational Risk across Operations and safeguard the firm from such risks. You will also report to Senior Management on operational risk issues, assist in embedding an Operational Risk culture throughout Operations to promote transparency and disclosure, and promote best practices to help Operations manage Operational Risk effectively while meeting the requirements of senior management and regulators. Your primary responsibilities will include handling Operations Risk Reporting for Asia Operations, monitoring and overseeing risks, providing support and managing risk incidents, key risk indicators (KRIs), open issues/actions, and collaborating with global/regional leads to manage and liaise with regional stakeholders for the smooth rollout and implementation of various risk agendas such as Regulatory Remediations, Risk and Control Self-Assessments, Material Operational Risk Event Deep Dives, and Operational Control Framework Implementations. Additionally, you will efficiently manage a team of professionals, ensuring adequate supervisory coverage. To be successful in this role, you should have over 7 years of experience in Operational processes and Operational Risk management within the financial industry, a good understanding of regulatory environment/banking/financial regulations, and regimes. You should be proactive, dependable, self-motivated, possess good communication/presentation/interpersonal skills, and interact effectively with global and regional teams. Strong project management and execution skills, the ability to work under tight timelines, and track team initiatives consistently are essential. Proficiency in MS Office (Word, Excel, PPT) and experience with digital tools like PowerBI, Alteryx, Tableau, UiPath, etc., would be advantageous. At Morgan Stanley, we are committed to maintaining first-class service and high standards of excellence. Our values of putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back guide our daily decisions. We offer an opportunity to work alongside talented individuals in a supportive and empowering environment. Our teams are known for being relentless collaborators and creative thinkers, driven by diverse backgrounds and experiences. We provide comprehensive employee benefits and perks, as well as opportunities for career advancement for those who demonstrate passion and dedication in their work. To learn more about our global offices, please visit https://www.morganstanley.com/about-us/global-offices. Morgan Stanley is an equal opportunities employer dedicated to providing a supportive and inclusive environment where all individuals can maximize their potential. Our workforce comprises individuals from diverse backgrounds, talents, perspectives, and experiences, reflecting a variety of global communities. We are committed to a culture of inclusion, focusing on recruiting, developing, and advancing individuals based on their skills and talents.,

Job Insights: Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions Preparation of regulatory governance committees including production of KPIs and drafting of governance documentation. Initial focus will be short selling, onboarding of new trading venues and best execution Assess and document APAC regulatory landscape for capital markets activities Assess and challenge the effectiveness of GM control set up against regulatory risks, propose and implement improvements Materialize and maintain the GM control plan from a front to back perspective and perform mapping with Functions Global Control Plan Perform data analysis to assess quality of data feeding regulatory controls Execute regulatory controls and report results in governance documentation Investigate on regulatory breaches identified in controls and follow-up with relevant stakeholders to close findings Working experience: 6+ years of experience in a top tier financial institution in a controls team and/or within the regulatory space (controls officer, regulatory project manager, regulatory governance officer) Experience with Capital markets Demonstrated ability to analyze and solve problems independently and to build quality relationship with stakeholders Experience with drafting and presenting PowerPoint presentation on a regular basis.

Position - Assistant Manager / Manager - Global Market Front Office Regulatory Permanent Control Position Purpose The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance & Control Frameworks specifically for Sanctions & Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors. Responsibilities Direct Responsibilities PROTECTION Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions GOVERNANCE Preparation of regulatory governance committees including production of KPIs and drafting of governance documentation. Initial focus will be short selling, onboarding of new trading venues and best execution RISK ASSESSMENT & CONTROLS Assess and document APAC regulatory landscape for capital markets activities Assess and challenge the effectiveness of GM control set up against regulatory risks, propose and implement improvements Materialize and maintain the GM control plan from a front to back perspective and perform mapping with Functions Global Control Plan Perform data analysis to assess quality of data feeding regulatory controls Execute regulatory controls and report results in governance documentation Investigate on regulatory breaches identified in controls and follow-up with relevant stakeholders to close findings Technical & Behavioral Competencies Key required skills REGULATORY BACKGROUND Is genuinely interested in financial markets regulatory environment. Is able to analyze and document the bank regulatory landscape within the capital markets scope CONTROLS PROFICIENCY Can assess control performance in terms of design and implementation quality Can execute regulatory controls, identify and document breaches, and remediate underlying issues. Can follow-up on control findings remediation and demonstrate assertiveness with relevant stakeholders Has good data mining and data analysis skills (Excel at least, Python a plus) WRITTEN PRESENTATION SKILLS Can prepare quality presentations for internal regulatory governance forums (ppt) ANALYTICAL SKILLS Can investigate on a complex operational capital markets breaches and incidents, liaise with SMEs, and document findings in a well structured report (good writing skills required) Strong attention to detail required (Focuses on the prevention of mistakes regarding information utilised or delivered). ADMIN SKILLS Must be able to perform simple database administration tasks (update status of various action items resulting from governance forums) Specific Qualifications (if required) Working experience: 6+ years of experience in a top tier financial institution in a controls team and/or within the regulatory space (controls officer, regulatory project manager, regulatory governance officer) Experience with Capital markets Demonstrated ability to analyze and solve problems independently and to build quality relationship with stakeholders Experience with drafting and presenting PowerPoint presentation on a regular basis Skills Referential Behavioural Skills : (Please select up to 4 skills) Ability to deliver / Results driven Attention to detail / rigor Communication skills - oral & written Choose an item. Transversal Skills: (Please select up to 5 skills) Ability to develop and leverage networks Ability to manage / facilitate a meeting, seminar, committee, training Analytical Ability Choose an item. Choose an item. Education Level: Master Degree or equivalent Experience Level At least 5 years

About Business line/Function: The Chief Conduct and Control Office (GM CCCO) is a transversal team within Global Markets (GM) that is responsible for overseeing the main risks and controls, while ensuring the integrity and the sustainable development in GMs portfolio of activities. GM CCCO has a global mandate across all platforms, with teams located in Americas, EMEA and APAC. The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance Control Frameworks specifically for Sanctions Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors. Reviewing regulatory-related control results and performance indicators Analysing impact of change of the regulation Ensuring escalation of potential breaches and following-up of required remedial actions Ensuring record-keeping and audit trail of all decisions and supporting documentation in relation to the regulatory governances Coordinating the different Functions/Operations/IT teams to design the most appropriate IT controls and their KPIs Position Purpose The primary responsibility of the GM Regulatory Permanent Control Officer (GM RPC) is to establish, deploy and run the Governance Control Frameworks specifically for Sanctions Embargoes called by any regulation impacting Global Markets Front or required by the Banks supervisors. Responsibilities Direct Responsibilities PROTECTION Help reduce strengthen front to back regulatory control framework by investigating on regulatory incidents, writing incident reports, designing remediations and following-up on actions GOVERNANCE Preparation of regulatory governance committees including production of KPIs and drafting of governance documentation. Initial focus will be short selling, onboarding of new trading venues and best execution RISK ASSESSMENT CONTROLS Assess and document EMEA regulatory landscape for capital markets activities Assess and challenge the effectiveness of GM control set up against regulatory risks, propose and implement improvements Materialize and maintain the GM control plan from a front to back perspective and perform mapping with Functions Global Control Plan Perform data analysis to assess quality of data feeding regulatory controls Execute regulatory controls and report results in governance documentation Investigate on regulatory breaches identified in controls and follow-up with relevant stakeholders to close findings Technical Behavioral Competencies Key required skills REGULATORY BACKGROUND Is genuinely interested in financial markets regulatory environment. Is able to analyze and document the bank regulatory landscape within the capital markets scope CONTROLS PROFICIENCY Can assess control performance in terms of design and implementation quality Can execute regulatory controls, identify and document breaches, and remediate underlying issues. Can follow-up on control findings remediation and demonstrate assertiveness with relevant stakeholders Has good data mining and data analysis skills (Excel at least, Python a plus) WRITTEN PRESENTATION SKILLS Can prepare quality presentations for internal regulatory governance forums (ppt) ANALYTICAL SKILLS Can investigate on a complex operational capital markets breaches and incidents, liaise with SMEs, and document findings in a well structured report (good writing skills required) Strong attention to detail required (Focuses on the prevention of mistakes regarding information utilised or delivered). ADMIN SKILLS Must be able to perform simple database administration tasks (update status of various action items resulting from governance forums) Specific Qualifications (if required) Working experience: 6+ years of experience in a top tier financial institution in a controls team and/or within the regulatory space (controls officer, regulatory project manager, regulatory governance officer) Experience with Capital markets Demonstrated ability to analyze and solve problems independently and to build quality relationship with stakeholders Experience with drafting and presenting PowerPoint presentation on a regular basis Skills Referential Behavioural Skills : (Please select up to 4 skills) Ability to deliver / Results driven Attention to detail / rigor Communication skills - oral written Choose an item. Transversal Skills: (Please select up to 5 skills) Ability to develop and leverage networks Ability to manage / facilitate a meeting, seminar, committee, training Analytical Ability Choose an item. Choose an item. Education Level: Master Degree or equivalent Experience Level At least 5 years Other/Specific Qualifications (if required)